Treasury/Markets Compliance- VP or SVP
Salary HKD1,500,000 - HKD1,800,000 per annum
Location Hong Kong Island
Consultant Reshma Gope
Date posted 10 May 201841 Connaught Road Central Hong Kong Robert Walters Hong Kong
A European bank with a strong presence world-wide is looking to hire a senior compliance professional in their global market compliance team. This is a corporate and investment bank with the regional team based out of Hong Kong. As the senior market compliance member, you will lead the market compliance team regionally and report directly into the head. A suitable platform for someone looking for a wider exposure, good work life balance and a team environment.
Reporting into the Head of Compliance based out of Hong Kong, the role is responsible for the following-
1. Handle regulatory enquiries and licensing matters in relation to Global Markets
2. Keep abreast of regulatory developments and provide regulatory updates in relation to Global Markets activities from local and global perspectives
3. Assist in establishing and developing appropriate and effective internal compliance policies and procedures for any new regulatory requirements and business activities in relation to Global Markets activities
4. Develop compliance monitoring programs and conduct regular reviews, ensuring that all compliance policies and procedures and regulatory requirements are adhered to Global Markets activities.
5. Responsible and coordinate on new product approval process in relation to Global Markets activities and follow up on outstanding issues.
6. Perform trades surveillance and examine traders’ records in relation to Global Markets activities.
7. Liaise with Head Office and other affiliates on implementation of global requirements in relation to Global Markets activities
8. Provide compliance advice on business initiatives relating to Global Markets
9. Attend to ad hoc global or regional projects or prioritized tasks.
10. Assist in the coordination of regional compliance activities as required.
You will have the following skills-
1. University Degree in Law, Accounting, Economics, Finance or related discipline.
2. 8 years of Global Markets Compliance experience in particular on treasury products (fixed income)
3. Solid knowledge of Hong Kong regulatory requirements (HKMA and SFC regulations).
4. Excellent experience on global regulatory requirements in relation to Volcker Rules, Dodd Frank, EMIR and MiFID II requirements.
5. Strong English skills including excellent writing skills, with working knowledge of Chinese language is highly preferred